| 17-01206 | 12/10/2018 | Claimant(s): Ricky Vanzant
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
|  | $550,000 |
| 14-01936 | 03/06/2017 | Claimant(s): Luis Gil-Quintero, Miriam Falero-Gil
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, James F. Major, Debra Black Leo
Hearing Site: San Juan, PR
| | $0 |
| 15-01200 | 12/09/2016 | Claimant(s): William D Fitzharris
Claimant Lawyers(s): William D Fitzharris
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Susan L. Luck, James F. Major, Brock Bingham Gordon
Hearing Site: Charlotte, NC
| | Expungement |
| 13-02520 | 03/04/2015 | Claimant(s): Terry Hollar
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc.
Respondent Lawyers(s): Eric Martin
Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel
Hearing Site: Charlotte, NC
| | |
| 13-00206 | 03/10/2014 | Claimant(s): Aseko.
Claimant Lawyers(s): Michael P. Hindelang
Respondent(s): Allen Curry, Synovus Securities.
Respondent Lawyers(s): Kip Nesmith
Arbitrator(s): Richard H. Potter, James F. Major, Robert A. Ames
Hearing Site: Charlotte, NC
| | $77,190 |
| 11-04113 | 02/12/2013 | Claimant(s): Allen Hauser
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris Clinton Weisner
Arbitrator(s): Robert T. Allen, John A. Baynes, James F. Major
Hearing Site: Charlotte, NC
| | $177,116 |
| 09-06846 | 10/15/2010 | Claimant(s): Jeffrey McMorrow
Claimant Lawyers(s): Jeffrey Paul McMorrow
Respondent(s): Banc of America Investment Services Inc., Ryan Tidwell
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Glenn R. Oxner, James F. Major, William F. Julavits
Hearing Site: Columbia, SC
| | $0 |
| 07-01583 | 03/26/2008 | Claimant(s): Harold F. Davis, IRA, Davis Family Trust
Claimant Lawyers(s): Harold F. Davis
Respondent(s): Hayes Burleson, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lynne T. Albert, Landrum H. Henderson, James F. Major
Hearing Site: Charlotte, NC
| | $87,600 |
| 05-02051 | 11/14/2007 | Claimant(s): Schumacher Charitable Unitrust, The Schumacher Family Rev. Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Edward Jones, Edward Jones Trust Company
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Michael Lloyd Weisel, James F. Major, N. John Garcia
Hearing Site: Columbia, SC
| | $0 |
